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DSM Capital Partners LLC

PRI reporting framework 2018

You are in Direct - Listed Equity Incorporation » ESG incorporation in actively managed listed equities

ESG incorporation in actively managed listed equities

Implementation processes

LEI 01. Percentage of each incorporation strategy

New selection options have been added to this indicator. Please review your prefilled responses carefully.

01.1. Indicate (1) which ESG incorporation strategy and/or combination of strategies you apply to your actively managed listed equities and (2) the breakdown of your actively managed listed equities by strategy or combination of strategies (+/- 5%)

ESG incorporation strategy (select all that apply)

Percentage of active listed equity to which the strategy is applied
100 %
Total actively managed listed equities 100%

01.2. Describe your organisation’s approach to incorporation and the reasons for choosing the particular ESG incorporation strategy/strategies.

It is DSM’s policy to include ESG factors in its investment process. In general, if DSM determines that ESG factors may have a material impact on the potential long-term returns of an investment, DSM will complete in-depth research on those issues and continue to monitor them for any developments and determine whether any action should be taken with respect to the investment.

DSM will invest in companies with ESG issues when our research concludes that the issues are not material to long-term financial returns. DSM will evaluate Board of Directors independence, qualifications and procedures, with regard to achieving future financial returns for shareholders.

DSM has adopted various procedures to implement the firm's policy, which include the following:

  • The CCO or a designee performs a quarterly ESG review of all companies whose stock is held in DSM’s model portfolio investment strategies;
  • Each analyst reviews all ESG Controversy Reports for each of the companies that they cover, providing commentary to the Firm’s Chief Investment Officer on any material negative assessments;
  • The Chief Investment Officer, in conjunction with the applicable analyst, will determine if any action is to be taken with respect to any investment held in DSM’s model portfolio investment strategies;
  • The CCO or a designee will maintain an ESG file incorporating all analysts’ commentary;
  • As updates or changes occur in the ESG ratings of any company held in DSM’s model portfolio strategies, the CCO or a designee will provide the relevant analyst with updated Controversies Reports for further review and analysis.

01.3. If assets are managed using a combination of ESG incorporation strategies, briefly describe how these combinations are used. [Optional]


LEI 02. Type of ESG information used in investment decision (Private)


LEI 03. Information from engagement and/or voting used in investment decision-making (Not Completed)


(C) Implementation: Integration of ESG issues

LEI 08. Review ESG issues while researching companies/sectors

08.1. Indicate which ESG factors you systematically research as part of your investment analysis and the proportion of actively managed listed equity portfolios that is impacted by this analysis.

ESG issues

Proportion impacted by analysis
Environmental

Environmental

Social

Social

Corporate Governance

Corporate Governance

08.2. Additional information. [Optional]


LEI 09. Processes to ensure integration is based on robust analysis (Private)


LEI 10. Aspects of analysis ESG information is integrated into (Private)


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